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Detailed Report
JAMES D MURPHY
JAMES DONALD MURPHY, JAMES MURPHY
CRD#: 2806690
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 670 SOUTH RIVER STREET
SUITE 112
PLAINS, PA 18705
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAPARK AVENUE SECURITIES LLC (CRD# 46173)2009 - Present (15 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - Present (25 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1996 - 1999 (2 years)
License(s)

State Registrations

B
Arizona 9/17/2024
IA
New York 4/16/2021
B
Connecticut 10/31/2024
B
North Carolina 3/16/2012
IA
Connecticut 10/31/2024
IA
North Carolina 7/25/2014
B
Delaware 4/20/2015
B
Oregon 2/13/2019
IA
Delaware 1/20/2022
B
Pennsylvania 5/3/1999
B
Florida 10/17/2002
IA
Pennsylvania 4/5/2011
IA
Florida 2/1/2011
B
South Carolina 9/22/2018
B
Georgia 1/4/2022
IA
South Carolina 6/10/2019
IA
Georgia 1/5/2022
B
Texas 10/4/2024
B
Kansas 6/22/2017
IA
Texas 10/4/2024
IA
Kansas 6/22/2017
B
Utah 1/25/2017
B
Maryland 6/22/2017
IA
Utah 1/25/2017
IA
Maryland 6/22/2017
B
Virginia 6/14/2018
B
New Hampshire 9/22/2018
IA
Virginia 1/17/2025
B
New Jersey 8/15/2013
B
West Virginia 6/22/2017
IA
New Jersey 5/15/2015
IA
West Virginia 6/28/2017
B
New York 10/28/1999

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
670 SOUTH RIVER STREET SUITE 112, PLAINS, PA 18705
Registered with this firm since 10/6/2009
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
670 SOUTH RIVER STREET SUITE 112, PLAINS, PA 18705
Registered with this firm since 5/3/1999
Previous Registration(s)
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B
 11/04/1996 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.